CTC - Corporate Finance Training Programmes Market abuse and insider dealing

An explanation of course levels:

Introductory: for those new to the subject.
Intermediate: for delegates with some prior knowledge of the subject.
Advanced: for delegates with substantial knowledge of the subject.
Update: for delegates with or without prior knowledge of the subject.

Corporate finance general

Market abuse and insider dealing

An introductory course providing an overview of the law on insider dealing and market abuse in the context of corporate finance transactions.

CPD: 3 hours

Level: introductory

OBJECTIVES

A knowledge of the law on market abuse and insider dealing is essential for corporate finance professionals. Without a thorough grounding in this area there are traps for the unwary on common corporate transactions.

The objective of the course is to provide an overview of the law and how it applies in particular common situations.

COURSE OUTLINE

PART 1: Insider dealing

The law on insider dealing:

what areas are covered
what are the defences
when is it relevant
what action needs to be taken to avoid liability.

PART 2: Market abuse

The law on market abuse:

what areas are covered
what are the defences
when will it be relevant.

The Code of Market Conduct and guidance issued by the FSA including List! and Marketwatch.

Other relevant regulation and guidance including Listing Rules, Disclosure and Transparency Rules, AIM Rules and the Takeover Code.

Part 3: application

Some common scenarios and examples of market abuse and insider dealing.

Recent cases of market abuse and examples of insider dealing where the FSA has taken action.

Practice and procedure including the safeguarding of price sensitive information, insider lists, disclosure of dealings and the Model Code and announcements.